1. Ohio State Apprenticeship Council Compliance Essentials Connie Sink Ohio Department of Job and Family Services

2. Federal Register Department of Labor Employment and Training Administration 29 CFR 30 Equal Employment Opportunity in Apprenticeship and Training Federal Register Department of Labor Employment and Training Administration 29 CFR 29 Labor Standards for the Registration of Apprenticeship Programs Statues Rules and Regulations for Registered Apprenticeship

3. Ohio Administrative Code 5101:11 Apprenticeship Council Rules 5101:11-1-01 Definitions 5101:11-2-01 Ohio State Apprenticeship Council 5101:11-2-02 Procedure for notice of public mtgs 5101:11-2-03 Procedure for Council registration of program and apprentices 5101:11-3-01 Eligibility for program registration 5101:11-3-02 Selection of apprentices 5101:11-3-03 Apprenticeship Agreement 5101:11-3-04 Records 5101:11-3-05 Reciprocity Agreement 5101:11-4-01 Equal Opportunity Requirements 5101:11-4-02 Affirmative Action Plans 5101:11-4-03 Compliance Reviews 5101:11-5-01 Complaints in matters of general compliance 5101:11-5-02 Noncompliance with equal opportunity requirements 5101:11-6-01 Deregistration of programs 5101:11-6-02 Hearings 5101:11-6-03 Reinstatement of program registration 5101:11-7-01 Exemptions

4. For ease of this presentation, please note that the following slides do not represent the entire rule from each section of the Ohio Administrative Code 5101:11 Please refer to Ohio Administrative Code 5101:11 for exact language and/or clarification

5. The Council will conduct regular and systematic reviews of apprenticeship programs to determine the extent of their compliance with the rules of the Ohio Administrative Code. Special reviews can take place from a complaint (or) Other indications of non-compliance Reviews will consist of comprehensive analysis and evaluation of every aspect of the program that include on-site investigations and audits Sponsors seeking new registration or re-registration shall be subject to a compliance review as part of the registration or re- registration process Appropriate action will be taken regarding program which are found non-compliant Ohio Law 5101:11-4-03 Compliance Reviews

6. The Ohio State Apprenticeship Council structured a Compliance Dept in the Spring of 2008 The Compliance Specialists are charged with conducting a periodic review of Sponsor programs to determine if the Sponsor is complying with the requirements of the Ohio Administrative Code 5101:11, thus insuring that the integrity of the National Apprenticeship System is being upheld Compliance Overview

7. The Compliance Specialist will review Sponsor’s information, records, files and documents to determine Sponsor’s Compliance Compliance reviews will normally be conducted where the Sponsor’s records are kept An inspection of at least one of the Sponsors work sites where apprentices are employed may be conducted during the review Sponsor should arrange for 3 apprentices to be interviewed during the on-site review (to include 1 female, 1 minority, 1 white male) Compliance Overview

8. Certified Appointment Letter Enclosed along in the certified appointment letter to the Sponsor is the following contents: Active apprentice list Cancellation Form Completion Form Compliance Checklist Compliance Process

9. Prior to the on-site review, the Compliance Specialist have reviewed the records on file at OSAC to include Sponsor’s: – Prior Compliance Reviews – Standards – Affirmative Action Plan – Workforce Analysis Worksheet – Selection Procedures Approximately 1 week prior to the review the Compliance Specialist will call the Sponsor to confirm the review date and time Compliance Process

10. –State and Federal Code –Equal Opportunity Pledge –Applicant Qualifications –Credit for Previous Experience –Apprenticeship Agreement –Term of Apprenticeship –Probationary Period –Schedule of Work Process –Related Technical Training –Safety –Supervision –Ratio –Hours and Conditions of work –Wages –Continuous Employment –Disposition of Complaints –Cancellation of Agreement –Period Evaluation –Certification of Completion –Records –Reports –Registration of Program –Modifications, Cancellations and Deregistration NOTE: If a program has 5 or more apprentices registered: An Affirmative Action Plan and a defined Selection Process must be a part of the Standards Program Standards

11. Application Records Qualification criteria, stated in detail A summary of the qualifications of each applicant Basis for evaluation and selection or rejection of each applicant Records pertaining to interviews of applicants The original application Records pertaining to those selected or rejected and maintained in such a manner to permit identification of minority and female applicants On Site Review

12. General Program Operation –Job Assignments –Promotions and Demotions –Lay-offs or termination –Wages or compensation –Conditions of work –Hours of OJT and RTI –Any other pertinent records determining compliance 5 Year Maintenance/made available to Council On Site Review

13. Programs with 5 or more apprentices Affirmative Action Plans –Retain a statement of its Affirmative Action Plan –Maintain data and Workforce Analysis On Site Review

14. Programs with 5 or more apprentices Must have a written and approved Affirmative Action Plan Outreach and positive recruitment For programs who accept applications at specific intervals, must disseminate information 30 days in advance For programs who take applications throughout the year, must disseminate information not less than 2 times annually Dissemination to include requirements for admission to apprenticeship to Council, local schools, employment and service offices, WIA offices, one- stop offices, women’s centers, community organizations and outreach programs who can effectively reach minorities, women and the general public On Site Review- Affirmative Action

15. Other appropriate activities to include: –General publicity about apprentice opportunities –Advertisements industry reports, articles –Use of present minority and female apprentices and journey persons as recruiters –Career counseling –Collaboration with other entities Other Sponsors (Coordinators Group) Community organizations (Hard Hatted Women, NAWIC) On Site Review-Affirmative Action

16. Participation in annual workshops conducted by employment service agencies Cooperation with local school boards and vocational educational systems Internal communication of the Sponsors EEO Policy to foster acceptance and support among the employees, supervisors, members, officers Utilization of journeypersons to assist in the implementation of the AAP Granting advanced credit on previously acquired experience, training, skills or aptitude to encourage entry, so as long as policies are applied equally and without discrimination On Site Review-Affirmative Action

17. Workforce Analysis Data Sponsors shall review their AAP plans and Workforce Analysis Worksheet annually and update them where necessary, (without reducing them) to including the following: Labor Market Area Data –Total labor force in labor market area –Size of minority and female populations in labor market area Sponsors Workforce Data –Sponsors data on apprentices that are female and minority –Sponsors data on journeyworkers that are female and minority Determination of Utilization –Women utilization is 50%, Minority utilization is 100% On Site Review-Affirmative Action

18. Workforce Analysis Worksheet General Information Census Data Labor Market Area Data Sponsor Workforce Data Prior Goals Determination of Utilization New Goals Signatures OSAC and Sponsor

19. Where registered training is for a traditionally male occupation, the Sponsor shall engage in one or more initiatives to prepare and encourage women to enter that training Establish and use programs designed as a preparatory occupational training to ensure that people served by these initiatives are afforded full and equal opportunity for admission to the apprenticeship program The commitments contained in the Sponsors AAP are not intended and shall not be used to discriminate against qualified applicants on the basis or race, color, religion, national origin, sex or age On Site Review-Affirmative Action

20. Defined Selection Procedure (for programs with 5 or more apprentices) Selection of applicants shall be applied consistently and fairly and shall stipulate one of the following methods which is defined in detail in the Standards and is approved by Council Review Selection Methods Rank Random (Lottery) Restricted Pool (Present Employees) Alternative (Any other) Direct Entry or Referral Job Corp Special Programs/funded by government On Site Review-Selection Procedure

21. Contacting organizations supplied by the Sponsor to verify their program outreach activities A visit to minority and women’s organizations and other potential referral sources listed by the Sponsor Off Site Review Verification

22. Compliance Specialists compose summary report A letter of findings, recommendations and follow-up is mailed to Sponsor AAP Workforce Analysis Worksheet Sponsor is to sign the letter and Workforce Analysis and returned to OSAC within 30 days of receipt Compliance Findings Additional examination procedure to the Compliance process A representative from OSAC will make a un-announced visit during your Related Technical Instruction The intent is to insure that Sponsors are following the requirements as outlined in their registered Standards therefore upholding the integrity of the National Apprenticeship System

23. Standards Recruitment & Outreach Selection Method Affirmative Action Activities Apprentice Files Documents Checklist